Latest cco buzz

Episode 64: GIPS 2020 - Are You Ready?

On episode 64 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the revised Global Investment Performance Standards effective as of January 1, 2020. 

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Latest cco buzz

Episode 63: Cybersecurity Training for Employees

On episode 63 of the CCO Buzz, Compliance Consultant Adam Stutz joins us to talk about the importance of cybersecurity training for employees as we begin the new year. 

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Episode 62: End of Year Books and Records Retention Review

December 20, 2019

Sr. Compliance Consultant Kurt Nuñez offers advice for your end of year books and records retention review on episode 62 of the CCO Buzz. 

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Episode 61: What Does the SEC Division of Enforcement's Annual Report Mean for Investment Advisers?

December 06, 2019

President Tito Pombra discusses the SEC Division of Enforcement's Annual Report on episode 61 of the CCO Buzz. 

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Episode 60: Are You Disclosing All Financial Compensation Conflicts?

November 22, 2019

On episode 60 of the CCO Buzz, Lead Sr. Compliance Consultant Tina Mitchell discusses the frequently asked questions, published by the SEC, that provide guidance on disclosure by investment advisers of compensation arrangements and surrounding conflicts. 

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Episode 59: Preparing for Year-End

November 08, 2019

On Episode 59, we summarize our year end compliance checklist to help ensure all applicable compliance filings and reviews get completed.

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Episode 58: Principal Trading & Agency Cross-Transactions

October 25, 2019

On Episode 58, Compliance Consultant Adam Stutz joins us to discuss investment adviser principal trading and agency cross-transactions.

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Episode 57: Is Your Business Continuity Plan Adequate and Effective?

October 04, 2019

On Episode 57, we discuss the essentials of an effective Business Continuity Plan. 

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Episode 56: Proxy Voting for Investment Advisers

September 20, 2019

On Episode 56 , we take a look at the SEC's release on proxy voting for investment advisers. 

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Episode 55: Form CRS

September 06, 2019

On Episode 55 , we will be discussing the new Form CRS. 

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